RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
P•••• F•••• H•••••••
- T•••• W••••• A••••••• independent RIA currentsince Jan 31, 2022 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedApr 22, 2019 to Jan 28, 2022 · Sherman Oaks, Ca
- R•• C•••••• M••••••• L•• national BDMar 20, 2009 to Jun 20, 2013 · Beverly Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 2, 2006 to Apr 14, 2009 · Los Angeles, Ca
- L•• F•••••••• L•• to T•••• W••••• A•••••••left Jan 28, 2022, registered Jan 31, 2022 (3 days) · Affiliated broker-dealer or bank to a newly registered adviser
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Jun 20, 2013, registered Apr 22, 2019 (2132 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Apr 14, 2009, registered Mar 20, 2009 (-25 days) · Other
- P•••• F•••• H••••••• left L•• F•••••••• L•• for T•••• W••••• A••••••• (registered 2022-01-31)Jan 28, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address